FIF News

FIF Holds First Meeting on FINRA Rule 4370

FIF held its first meeting on FINRA Rule 4370 (BCP) last Wednesday. FIF briefly reviewed FINRA’s request for comment on FINRA Rule 4370 and began to elicit feedback and comments focused on the eight discussion questions provided by FINRA.  FIF will be submitting comments based upon feedback provided by our members.   If you would like to join this subgroup, please send us email us at 

Posted Mar 18, 2019

FIF Attends an Event on US Equities Markets

This past week, FIF representatives attended talks with SEC Chairman Jay Clayton and Markets Director Brett Redfearn at Fordham University.  The event, aptly named: U.S. Equity Markets: Looking Back and Moving Forward, focused on the equity markets of 2018 and what initiatives the Commission will pursue in 2019. A few of the topics discussed included: Market Data Access, Retail Fraud, Thinly-Traded Securities, The Transaction Fee Pilot, and Reg ATS-N.  To read a transcript of the discussion, please click here.

Posted Mar 11, 2019

FIF to Form a Subgroup on FINRA’s Business Continuity Plans

FINRA has recently issued a notice requesting comment on FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information) as part of their retroactive rule review program.  FIF is forming a subgroup to review FINRA Rule 4370 with the intent submitting several recommendations.  FIF will hold the first meeting on Wednesday, March 13 @ 11:00 am.  If you would like to join this subgroup, please send an email to

Posted Mar 04, 2019

FIF to Hold CAT Cybersecurity Meeting

FIF will reconvne our CAT Cybersecurity Working Group this Friday at 11am ET.  FIF will review prior feedback provided to ThesysCAT and determine whether there is an opportunity to re-raise cybersecurity-related issues with FINRA.  If you would like to join this subgroup or if you are not sure if you were previously on the distribution list of the group, please email the program office at 

Posted Mar 04, 2019

FIF Comments on Reg ATS-N

Following several meetings with the FIF Reg ATS-N Working Group, FIF has submitted a comment letter to the SEC with recommendations that should help facilitate a more efficient and streamlined Reg ATS-N submission process.

Posted Mar 04, 2019